【作者】 孙莉；

【导师】 左海聪；

【作者基本信息】 南开大学 ， 国际法， 2013， 硕士

【摘要】 20世纪90年代以来,国际政治经济环境发生了很大的变化,国际商事立法形式也呈现出非正式化趋势,原有的商人法理论已无法为这些变化和趋势提供理论支持。德国敏斯特大学的伯格教授在继承原有商人法理论的基础上,结合国际商法新的发展特点,提出了商人法渐进性编纂理论,以填补新形势下商人法理论支持的空白。伯格提出了国际商事立法过程的私有化、商人法构成第三法律体系、对商人法实行渐进性编纂等理论观点,它们构成了商人法渐进性编纂理论的基本内容,其中渐进性编纂是其理论核心。他认为20世纪中期以后的国际商事实践反映了国际商法范式的转变,即“立法私有化”,且法律多元主义、契约合意和自我监管分别构成了“立法私有化”的理论前提、核心和效力保障,而立法私有化这一理念也最终打开了接受商人法为一个自治法律秩序的大门。伯格指出反对商人法为自治法律体系的观点只是基于结构假设或理论假设,若将“体系”理解为“一个不成文的价值和信念框架”,将“法律”理解为“具有代表孰是孰非的一般信念和形成‘维和秩序’两种功能的规范”后,就能证明商人法具有“体系性”和“法律性”,而商人法体系的开放性和立法私有化问题又证明了商人法的“自治性”,因此,商人法构成一个自治的跨国法律体系,是独立于国内法和国际法的第三法律秩序。商事实践对法律明确性的要求又使伯格认识到商人法理论探讨重心应从“存在与否”转向“如何存在”,而在解决商人法“如何存在”问题的诸多编纂路径中,以功能性法律比较为方法论基础、以法律原则和规则的相互作用为结构基点、体现私有化和渐进性两大特点的渐进性编纂是最有效的路径。虽然已经存在的重述是能够实现渐进性编纂的有效形式,采用重述形式的《国际统一私法协会国际商事合同通则》和《欧洲合同法原则》也相应成为了渐进性编纂的具体实例,但它们形式上的封闭性仍然无法最大程度地满足商人法的“活法”性质,据此,伯格积极倡导将更具开放性和灵活性的清单作为渐进性编纂更优的有效形式并支持起草了“商人法原则、规则和标准清单”。理论上,它证明了商人法的独立法律体系地位、转移了商人法理论探讨焦点、提出了不同的商人法编纂路径、提供了商人法的理论基础、突出了国际商事仲裁的作用、保障了商人法的“活法”性质、更接近了自治跨国法律体系存在与否的答案；实践上,它加强了法律实践中商人法理论的可行性、保证了根据商人法作出的仲裁裁决的可执行性,因此商人法渐进性编纂理论具有重要的理论意义和实践价值。但同时,该理论的某些观点也遭到了一些学者的批评和反对。尽管还存在一些需要进一步探讨和研究的地方,鉴于其重要的理论价值和实践价值,我们仍然可以期待商人法渐进性编纂理论在21世纪的广阔发展前更多还原

【Abstract】 Since the1990s, the international political and economic environment has undergone a lot of changes and the form of international commercial legislation is also showing a trend of informality. The existing lex mercatoria theories have been unable to provide theoretical support for these changes and trends. Combining with the new characteristics of the development of international commercial law, professor Berger at the University of Munster, Germany, puts forward the theory of the creeping codification of the lex mercatoria on the basis of the existing lex mercatoria theories to fill the blank of the theoretical support in the new situation.Berger advances the views of the privatized law-making process, lex mercatoria being a third legal system and the creeping codification which constitute the contents of his theory and among which the last one is the theoretical core. He believes that the international commercial practices after the mid-20th century reflect the changing paradigm of international commercial law:privatized law-making. He also considers the legal pluralism, the contractual consensus and self-regulatory constitute the theoretical premise, the core and the guarantee of effectiveness of privatized law-making and the concept of privatized law-making finally opens the door for the acceptance of the lex mercatoria as an autonomous legal order. Berger points out that the objections which are traditionally raised against the lex mercatoria as an autonomous legal system are based either on structural or theoretical assumptions. If the "system" is understood as "an unwritten framework of values and convictions" and "law" is understood as norms with a dual role of representing the general conviction of what is right or wrong and forming a’peacekeeping order’, it will be able to prove that the lex mercatoria possesses the nature of "system" and "legal". Meanwhile, the flexibility and openness of lex mercatoria and the issue of privatized law-making prove the "autonomy" of the lex mercatoria. So, the lex mercatoria is an autonomous, transnational legal system, a third legal system independent of the domestic law and the public international law. The requirement for legal certainty in commercial practice makes Berger realize that the theoretical discussion focus of the lex mercatoria should be transformed from "lex mercatoria:yes or no?" to "lex mercatoria:when and how?". He deems that among the approaches to dealing with the form of existence of the lex mercatoria, the creeping codification approach which regards functional legal comparison as methodical foundation and the interaction between general principles of law and concrete norms as structural basis point and reflects the two main characteristics of informal and creeping is the most effective. Although the existing restatement-technique is an effective form of the creeping codification approach and the UNIDROIT Principles of International Commercial Contracts and the Principles of European Contract Law which adopt the restatement-technique correspondingly become the specific examples, their formal closure is still unable to meet the lex mercatoria’s nature of "living law" to the largest extent. Therefore, Berger actively promotes the more open and flexible lists as a better form of the creeping codification and drafted "List of Principles, Rules and Standards of the Lex Mercatoria".In theory, it proves the status of an independent legal system of the lex mercatoria, transfers the lex mercatoria doctrine’s theoretical discussion focus, advances a different approach to codifying lex mercatoria, provides the methodical foundation for the lex mercatoria, highlights the role of the international commercial arbitration, ensures the lex mercatoria’s nature of "living law" and comes closer to the answer to the existence or absence of an autonomous legal system of the lex mercatoria; in practice, it enhances the workability of the lex mercatoria doctrine in legal practice and secures the enforceability of arbitral awards based on the lex mercatoria, so the theory of the creeping codification of the lex mercatoria has important theoretical and practical significance. But at the same time, some of the arguments of the theory have also been criticized and opposed by some scholars. Although there is a need to further explore and research on some views, in the light of its important theoretical and practical value, we can still look forward to the broad prospect for development of the theory of the creeping codification of the lex mercatoria in the21st century.更多还原